0000892712-15-000274.txt : 20150213 0000892712-15-000274.hdr.sgml : 20150213 20150213105856 ACCESSION NUMBER: 0000892712-15-000274 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150213 DATE AS OF CHANGE: 20150213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIGNAL GENETICS, INC. CENTRAL INDEX KEY: 0001590750 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 471187261 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88625 FILM NUMBER: 15610876 BUSINESS ADDRESS: STREET 1: 5740 FLEET STREET CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: (760) 537-4100 MAIL ADDRESS: STREET 1: 5740 FLEET STREET CITY: CARLSBAD STATE: CA ZIP: 92008 FORMER COMPANY: FORMER CONFORMED NAME: SIGNAL GENETICS LLC DATE OF NAME CHANGE: 20131031 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HEARTLAND ADVISORS INC CENTRAL INDEX KEY: 0000937394 IRS NUMBER: 391078128 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 789 N WATER STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-347-7777 MAIL ADDRESS: STREET 1: 789 N WATER STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 SC 13G 1 heartlandsignalgen13g.htm SCHEDULE 13G



UNITED STATES 
SECURITIES AND EXCHANGE COMMISSION 
Washington, D.C. 20549


SCHEDULE 13G


Under the Securities Exchange Act of 1934

(Amendment No. 0)*


 SIGNAL GENETICS, INC.

(Name of Issuer)


Common Stock

(Title of Class of Securities)

 

826640104

(CUSIP Number)

 

December 31, 2014

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



CUSIP No.: 826640104


1

NAMES OF REPORTING PERSONS

 

HEARTLAND ADVISORS, INC.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) 

(b)  

3

SEC USE ONLY

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

WISCONSIN, U.S.A.

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH 
REPORTING
PERSON WITH

5

SOLE VOTING POWER
0

6

SHARED VOTING POWER
191,700

7

SOLE DISPOSITIVE POWER
0

8

SHARED DISPOSITIVE POWER
191,700

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

191,700

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 
CERTAIN SHARES 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.1%

12

TYPE OF REPORTING PERSON
IA

 

 



CUSIP No.: 826640104


1

NAMES OF REPORTING PERSONS

 

William J. Nasgovitz

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) 

(b) 

3

SEC USE ONLY

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S.A.

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH 
REPORTING
PERSON WITH

5

SOLE VOTING POWER
0

6

SHARED VOTING POWER
191,700

7

SOLE DISPOSITIVE POWER
0

8

SHARED DISPOSITIVE POWER
191,700

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

191,700

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 
CERTAIN SHARES 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.1%

12

TYPE OF REPORTING PERSON
IN




Item 1.

 

(a)

Name of Issuer:

SIGNAL GENETICS, INC.

 

 

(b)

Address of Issuer’s Principal Executive Offices:

5740 Fleet Street

Carlsbad, CA 92008

Item 2.

 

(a)

Name of Persons Filing:

(1)

Heartland Advisors, Inc.

(2)

William J. Nasgovitz

 

 

 

 

(b)

Address of Principal Business Office:

All reporting persons may be contacted at:

789 North Water Street

Milwaukee, WI 53202

 

 

(c)

Citizenship:

Heartland Advisors, Inc. is a Wisconsin corporation.  William J. Nasgovitz is a United States citizen.

 

 

(d)

Title of Class of Securities:

Common Stock

 

 

(e)

CUSIP Number:

 826640104





Item 3.

 

If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person  filing is a(n):

 

 

 

(a)

 

Broker or dealer registered under Section 15 of the Act;

 

 

 

(b)

 

Bank as defined in Section 3(a)(6) of the Act;

 

 

 

(c)

 

Insurance company as defined in Section 3(a)(19) of the Act;

 

 

 

(d)

 

Investment company registered under Section 8 of the Investment Company Act;

 

 

 

(e)

 X

*Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

 

 

 

(f)

 

Employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

 

 

 

(g)

 X

*Parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

 

 

 

(h)

 

Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 

(i)

 

Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

 

 

 

 

(j)

 

A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); or

 

 

 

(k)

 

Group, in accordance with § 240.13d-1(b))1)(ii)(K).

 

 

*The persons filing this Schedule 13G are Heartland Advisors, Inc., an investment adviser registered with the SEC, and William J. Nasgovitz, Chairman and control person of Heartland Advisors, Inc. The reporting persons do not admit that they constitute a group.

 

 

 

Item 4.

Ownership

 

 

 

 

(a)

Amount beneficially owned:

 

 

191,700 shares may be deemed beneficially owned within the meaning of Rule 13d-3 of the Act by (1) Heartland Advisors, Inc. by virtue of its investment discretion and voting authority granted by certain clients, which may be revoked at any time; and (2) William J. Nasgovitz by virtue of his control of Heartland Advisors, Inc.


Mr. Nasgovitz disclaims beneficial ownership of any shares reported on the Schedule.

 

 

 

 

(b)

Percent of Class:  5.1%

 

 

 

 

(c)

For information on voting and dispositive power with respect to the above listed shares, see Items 5-9 on the Cover Pages.

 

 

 

Item 5.

Ownership of Five Percent or Less of a Class.

 

 

 

 

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:   




Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

The clients of Heartland Advisors, Inc., a registered investment adviser, including an investment company registered under the Investment Company Act of 1940 and other managed accounts, have the right to receive or the power to direct the receipt of dividends and proceeds from the sale of shares included on this Schedule.  The Heartland Value Fund, a series of the Heartland Group, Inc., a registered investment company, owns 191,700 shares or 5.1% of the class of securities reported herein. Any remaining shares disclosed in this filing are owned by various other accounts managed by Heartland Advisors, Inc. on a discretionary basis. To the best of Heartland Advisors' knowledge, none of the other accounts owns more than 5% of the outstanding stock.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding Company.

Not applicable.

Item 8.

Identification and Classification of Members of the Group.

Not applicable.

Item 9.

Notice of Dissolution of Group.

Not Applicable

Item 10.

Certification.

 

 

 

By signing below, the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
















SIGNATURE

After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

Date: February 12th, 2015



WILLIAM J. NASGOVITZ

 

HEARTLAND ADVISORS, INC.

 

 

 

By: /s/ PAUL T. BESTE

 

By: /s/ PAUL T. BESTE

As Attorney in Fact for

 

Paul T. Beste

William J. Nasgovitz

 

Chief Operating Officer



EXHIBIT INDEX


Exhibit 1

Joint Filing Agreement



EXHIBIT 1 – JOINT FILING AGREEMENT


JOINT FILING AGREEMENT


In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing with the other reporting person of a statement on Schedule 13G  (including amendments thereto) with respect to the Common Stock, $0.01 par value, of SIGNAL GENETICS, INC. and that this Agreement be included as an Exhibit to such joint filing.


IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 12th day of February, 2015.



WILLIAM J. NASGOVITZ

 

HEARTLAND ADVISORS, INC.

 

 

 

By: /s/ PAUL T. BESTE

 

By: /s/ PAUL T. BESTE

As Attorney in Fact for William J. Nasgovitz

 

Paul T. Beste

(Pursuant to Power of Attorney previously filed)

 

Chief Operating Officer